Events
September 3, 2020
Senior investors represent a high percentage of most firms’ assets under management. This group of investors has special considerations – from saving for retirement, the onset of potential health issues (such as dementia) and potential abuse from others (in the form of financial exploitation from relatives, cybercriminals and fraudsters). What steps are your firms taking to protect this investor group, and is it enough?
Speaking on this subject area, in partnership with NSCP, are two industry veterans:
1. SEC expectations for protecting seniors
2. New senior investor scams seen during the COVID-19 period
3. How to build a compliance program to protect best practices and regulatory considerations/responses, specifically for senior investors
4. Why the Senior Safe Act should be considered for implementation
5. Best practices for identifying and responding to senior exploitation
Michelle L. Jacko, Esq. is the Managing Partner and CEO of Jacko Law Group, PC (“JLG”), which offers securities, corporate, real estate, and employment law counsel to broker-dealers, investment advise...